Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.449.5 Form G–405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter

This form is to be used by registered government securities brokers and dealers to make the monthly, quarterly and annual financial reports required by part 405 of this chapter. The form is promulgated by the Department of the Treasury and is available from the SEC and the designated examining authorities.

Editorial Note:  Form G–405 revised at 60 FR 18734, April 13, 1995;  83 FR 66617, 66618, Dec. 27, 2018.